Senior Communications Compliance Advisor

LPL Financial; Fort Mill (SC); On-site; USD 74,057 - 123,497; Full time

Job summary

LPL Financial is seeking a Senior Advisor Communications & OBA Principal in Fort Mill, SC. This role involves reviewing and approving marketing materials, consulting on outside business activities, and serving as a Subject Matter Expert to educate staff.

The ideal candidate will have a Bachelor’s degree, 3+ years of compliance review experience in financial services, and strong communication skills. Successful candidates will also possess Series 7 and 24 licenses.

Qualifications

• 3+ years of prior financial services and advertising/marketing compliance review experience.
• Knowledge of FINRA, SEC, and State rules and regulations.
• Licensing Requirement: Series 7, 24.

Responsibilities

• Evaluate marketing materials for approval or guidance.
• Review outside business activities for compliance.
• Consult with advisors on marketing initiatives.
• Research compliance issues and regulatory inquiries.
• Contribute to policy updates and training initiatives.

Skills

Financial services compliance review

Advertising compliance review

Client-facing skills

Excellent oral communication

Excellent written communication

Attention to detail

Education

Bachelor’s Degree

Tools

Excel

Word

PowerPoint

Job description

LPL Financial is seeking a Senior Advisor Communications & OBA Principal in Fort Mill, SC. This role involves reviewing and approving marketing materials, consulting on outside business activities, and serving as a Subject Matter Expert to educate staff.

The ideal candidate will have a Bachelor’s degree, 3+ years of compliance review experience in financial services, and strong communication skills. Successful candidates will also possess Series 7 and 24 licenses.